Rail Safety Leadership

**DUTY HOLDERS**

- Aligns industry safety strategies
- Monitors system performance
- Leads safe delivery of change
- Manages undertaking’s safety risks
- Leads co-operation with other duty holders & industry partners

**DELIVERS SAFE RAILWAY**

**ALIGNS & PROMOTES**

- Certifying & authorising safety certificates
- Supervises industry safety management systems

**INVESTIGATES**

- Independent accident investigations
- Makes recommendations

**SUPERVISES & ENFORCES**

- Supervises industry safety management systems
- Advises on legislative requirements
- Develops, monitors & enforces regulatory framework

**ENABLES & INFORMS**

- Provides tools, guidance, standards, analysis, research
- Facilitates safety collaboration
- Advises on good safety management

**RAIB**

- Facilitates coordinated industry delivery
- Makes recommendations

**RDG**

- Aligns industry safety strategies
- Leads safe delivery of change

**ORR**

- Manages undertaking’s safety risks
- Leads co-operation with other duty holders & industry partners

**RSSB**

- Assess whole system risk
- Provides tools, guidance, standards, analysis, research
- Facilitates safety collaboration
- Advises on good safety management

**DUTY HOLDERS**

- Aligns industry safety strategies
- Monitors system performance
- Leads safe delivery of change
- Manages undertaking’s safety risks
- Leads co-operation with other duty holders & industry partners

**DELIVERS SAFE RAILWAY**

**ALIGNS & PROMOTES**

- Certifying & authorising safety certificates
- Supervises industry safety management systems

**INVESTIGATES**

- Independent accident investigations
- Makes recommendations

**SUPERVISES & ENFORCES**

- Supervises industry safety management systems
- Advises on legislative requirements
- Develops, monitors & enforces regulatory framework

**ENABLES & INFORMS**

- Provides tools, guidance, standards, analysis, research
- Facilitates safety collaboration
- Advises on good safety management

**RAIB**

- Facilitates coordinated industry delivery
- Makes recommendations

**RDG**

- Aligns industry safety strategies
- Leads safe delivery of change

**ORR**

- Manages undertaking’s safety risks
- Leads co-operation with other duty holders & industry partners

**RSSB**

- Assess whole system risk
- Provides tools, guidance, standards, analysis, research
- Facilitates safety collaboration
- Advises on good safety management Roles of Industry Bodies (key to infographic)

Duty Holders The principal railway duty holders are infrastructure managers (IM) - the people who manage the railway’s fixed infrastructure such as track, stations, signalling and electrification - and railway undertakings (RU) - the people who operate trains. Each is responsible for its own part of the railway.

Manage Safety: IMs and RUs are required to establish a management system that ensures they manage the operation of their infrastructure and vehicles operations safely (so far as is reasonably practicable).

Assess and control risk: IMs and RUs are subject to specific requirements to carry out risk assessment and to apply the European Common Safety Method on Risk Evaluation and Assessment.

Co-operate: There is an explicit duty to co-operate where an IM or RU is taking action to achieve the safe operation of their part of the railway system. This cooperation takes place at the strategic level; for example, in planning to manage interface risks, and at the tactical, local, and day to day level, where real time mechanisms are in place to manage hazards and prevent accidents.

Lead: The duty of co-operation states that one party has to be ‘taking action’ i.e. leading in the management of the risk. This requires a robust and up to date understanding of risks needing co-operative action, and a willingness by the particular party to recognise when it is required to take the initiative to resolve it.

Rail Accident & Investigation Branch The RAIB was established in 2005 to address a series of recommendations by Lord Cullen following the public inquiry into the rail accident at Ladbroke Grove in 1999. He urged the creation of a rail investigation body with the sole objective of preventing accidents and incidents, and with no role in the apportionment of blame or liability. The RAIB investigates using powers assigned to it by the Railways and Transport Safety Act 2003 and in accordance with the Railways (Accident Investigation and Reporting) Regulations 2005. This legislation transposes the accident investigation aspects of the EU Railway Safety Directive 2004.

Investigate: The RAIB undertakes independent investigation of certain categories of railway accident without apportioning blame or liability, for the purpose of enabling lessons to be learned to improve safety on railways and preventing similar accidents and incidents.

Recommend: RAIB makes recommendations for railway duty holders, ORR and others on the basis of the findings of its investigations. The ORR is the body that determines whether the actions taken by the duty holders are sufficient.

Rail Safety and Standards Board (RSSB) RSSB was established in 2003 to address core sets of recommendations from the second part of Lord Cullen’s report associated the Ladbroke Grove Rail Inquiry. It was set up to address the need for a system-wide perspective on standards, research, and a range of cross-industry functions. The Cullen Report recommended that a body independent of the regulator and any single interest should provide a framework for collaboration to support the industry in managing its risk across interfaces.

Enable: The RSSB provides tools, guidance and standards to enable the efficient, and where important, consistent application of different elements of company’s safety management system. Key systems exist to support safety incident reporting, risk assessment, and supplier management.

Inform: RSSB provides objective trusted information to help the various bodies in the railway take good safety related decisions, and manage safety efficiently. This includes regular safety performance reporting, such as the Annual Safety Performance Report, and review of industry delivery against the Health and Safety strategy through networks of key industry experts and decision makers.

Research and analysis: RSSB undertakes research and analysis to find solutions to complex railway problems or opportunities, with a safety implication for the railway system. RSSB’s thought leadership role is to do such work in a timely way, such that the answers to key questions for the railway are available by the time railway duty holders wish to implement change to the railway.

Office of Rail and Road (ORR) The ORR is the health and safety regulator and enforcing authority for the railway. Its role is to make sure that the health and safety of everyone associated with the rail industry is protected. This is achieved by encouraging railway businesses to have excellent health and safety management, ensuring that they identify and assess risks properly, control them effectively, and comply with the law.

ORR’s safety duties and powers derive from the Health & Safety at Work etc Act 1974, the Railways Act 2005 and the Health and Safety (Enforcing Authority for Railways and Other Guided Transport Systems) Regulations 2006.

Supervision: ORR inspects, audits and investigates duty holders’ compliance with health and safety law;

Certification and authorisation: ORR grants permission for infrastructure managers and passenger and freight train operators to operate on the basis that they will use their management system effectively to control the risks they create when running their business.

Enforcement: ORR uses enforcement powers, where appropriate, to drive improvement in risk management.

Investigation: ORR conducts investigations of accidents, incidents and complaints; where appropriate, taking criminal prosecutions to ensure that companies and individuals who breach health and safety law are held to account by the courts.

Regulation: ORR monitors, promotes and develops Great Britain’s safety regulatory framework.

Rail Delivery Group Rail Delivery Group was established in June 2011 by the major passenger and freight train operator groups and Network Rail to fulfil role of coordinating and leading the industry on cross industry initiatives.

Facilitate delivery strategy: The Rail Delivery group brings together the key industry leaders for the development of shared strategy, priorities and delivery plans including the industry Safety strategy ‘Leading Health & Safety on Britain’s Railway’.

For more information on the roles and responsibilities above, reference should be made to the key regulations, in particular:

Reference Documents The Railways and Other Guided Transport Systems (Safety) Regulations (ROGS) 2006 http://orr.gov.uk/\_\_data/assets/pdf_file/0018/2547/rogs-2006-consolidated-with-amendments.pdf

Common Safety Method for Risk Assessment: http://orr.gov.uk/\_\_data/assets/pdf_file/0006/3867/common_safety_method_guidance.pdf

Common Safety Method for Monitoring: http://www.era.europa.eu/Document-Register/Documents/ERA-GUI-05-2012-SAF_Guide%20on%20CSM%20for%20monitoring%20V1.0%20Published.pdf

https://www.rssb.co.uk/Library/improving-industry-performance/2013-leaflet-CSM-monitoring.pdf

Common Safety Method for Supervision: http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2012:320:0003:0007:EN:PDF

The Railway Transport Act 2003: http://www.legislation.gov.uk/ukpga/2003/20/pdfs/ukpga_2003020_en.pdf

The Railways (Accident Investigation and Reporting) Regulations 2005: http://www.legislation.gov.uk/uksi/2005/1992/contents/made

The Railways (Accident Investigation and Reporting) Regulations 2005: http://www.legislation.gov.uk/uksi/2005/1992/contents/made